Filing Details
- Accession Number:
- 0001562180-20-007203
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-12-11 11:18:11
- Reporting Period:
- 2020-12-10
- Accepted Time:
- 2020-12-11 11:18:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 820318 | Ii-Vi Inc | IIVI | Optical Instruments & Lenses (3827) | 251214948 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1191458 | J Francis Kramer | C/O Ii-Vi Inc. 375 Saxonburg Blvd. Saxonburg PA 16056 | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-12-10 | 60,000 | $18.93 | 322,395 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-12-10 | 23,521 | $68.98 | 298,874 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-10 | 26,083 | $70.18 | 272,791 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-12-10 | 10,396 | $71.07 | 262,395 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Option (Right to buy) | Disposition | 2020-12-10 | 60,000 | $0.00 | 60,000 | $18.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 23,680 | 2022-08-18 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 42,500 | Indirect | By GRATs |
| Common Stock | 285,401 | Indirect | By Spousal Limited Access Trust |
Footnotes
- The sale transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 18, 2020.
- Represents the weighted average of multiple sale transactions ranging in price from $68.69 to $69.67. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company.
- Represents the weighted average of multiple sale transactions ranging in price from $69.74 to $70.67. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company.
- Represents the weighted average of multiple sale transactions ranging in price from $70.79 to $71.47. The reporting person agrees to provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the Company or a security holder of the Company.
- The reporting person disclaims beneficial ownership of these securities, other than to the extent of the reporting person's pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- The options fully vested on August 18, 2017.
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